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MiFID (123)
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Section Provision

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

…

PERG 8.6 Communicate

As Published: 2005

PERG 8.6 Communicate

…

PERG 8.18 Financial promotions concerning the Lloyd’s market

As Published: 2007

PERG 8.18 Financial promotions concerning the Lloyd’s market

…

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

…

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

…

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

…

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

…

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

…

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

…

SYSC 13.3 Other related Handbook sections

As Published: 2007

SYSC 13.3 Other related Handbook sections

…

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

…

GEN 4.2 Purpose

As Published: 2003

GEN 4.2 Purpose

…

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

…

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

COLL 12.4 UCITS product passport

As Published: 2011

COLL 12.4 UCITS product passport

…

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

…

COBS 16.1 General client reporting requirement

As Published: 2007

COBS 16.1 General client reporting requirement

…

COBS 21.1 Application

As Published: 2007

COBS 21.1 Application

…

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